Richard Thompson, financial advisor Amherst NY
93 score

Richard Thompson

CRD Number: 2988538
Current Firm: Advice And Planning Services

Richard Thompson (CRD# 2988538) is an Investment Advisor Representative working at Advice And Planning Services in Amherst, NY and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Tiaa-cref Individual & Institutional Services, LLC Amherst, NY Jul 2010 - Current 6
Tiaa Amherst, NY Jul 2010 - Current 6
Unemployed Getzville, NY May 2010 - Jul 2010 < 1
Metlife Securities Inc. Williamsville, NY Feb 2010 - May 2010 < 1
Unemployed Getzville, NY Jan 2010 - Feb 2010 < 1
Ups Buffalo, NY Dec 2009 - Dec 2009 < 1
Unemployed Getzville, NY Nov 2009 - Dec 2009 < 1
Edward Jones St. Louis, MO Oct 2009 - Nov 2009 < 1
Tiaa-cref Individual & Institutional Services, Inc. Amherst, NY Sep 2000 - Oct 2009 9
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination May 2007
S66 NASAA Uniform Combined State Law Examination May 1998
Contact Info for Richard D. Thompson
Phone Number: 212-490-9000
Firm Website: http://www.tiaa.org
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    16,792
    MILLIONS
  • Total Number of Accounts
    45,960
    ACCOUNTS
  • Average Account Value
    $365,356
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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